Financial and capital market Commission, the provisions of regulations No 213 2013 in Riga on September 24 (the financial and capital market Commission Council meeting Protocol No 36 15. p.)
The amendments to the "investment brokerage company monthly reporting rules issued pursuant to the financial instruments market law 133. the first paragraph of article 1. make financial and capital market Commission of 27.06.2003. Regulation No 131, regulations" investment brokerage company monthly reporting rules "(hereinafter-the rules) the following amendments: 1. Express provisions of paragraph 1.23 as follows:" the use of the remaining 1.23. the term corresponds to the European Parliament and Council Regulation (EC) no 575/2013 (26 June 2013) for the prudenciālaj requirements for credit institutions and investment firms and amending Regulation (EC) No 648/2012. " 1.2. Make provision 2.1.1. point as follows: "2.1.1." monthly balance report "with the heading" other assets "and" other liabilities heading "explosion point 2.5 of these provisions in the cases provided for and an explanation of the reasons for this rule change 2.4. in the cases provided for in paragraph 1;". 1.3. To delete the provision, 2.1.7 and 2.1.8 2.1.6... ". 1.4. Express provisions 2.3., 2.4., and the following point 2.5: "2.3. investment brokerage company, which acquired the derivative financial instruments, complete review (4)" financial derivatives ", which are presented in various types of derivative financial instruments the fair value of the total and the total of the basic values of the relative. 2.4. If the monthly balance sheet position indicator in comparison with the previous month's balance-sheet the pointer has changed by more than 15 percent, investment brokerage company "monthly balance sheet" and "asset management" in the report, fill in the columns in ' ' ' change in '. 2.5. investment brokerage company, where a balance report in the month reported overall asset value of more than five percent of total assets, "monthly review" column of the balance sheet ' ' 1400 "other assets" of the explosion ' total assets ' provide the rest position of the transactions comprising the explanation. If the monthly balance report indicated global commitment amount exceeds five percent of the total liabilities, investment brokerage company "monthly balance report" column ' ' 3700. the headings "other liabilities" the explosion ' ' provides a global commitment total transactions forming positions. " 1.5. Make provisions 9.1. point as follows: "9.1. Investment brokerage company the information prepared in accordance with requirements of this regulation for the reporting month electronically in Extensible Markup Language (XML) file format in accordance with the financial and capital market Commission prepared an XSD (XML Schema Definition) schema that financial and capital market Commission publishes data reporting system (internet site http://dati.fktk.lv) and send the financial and capital market Commission and the review month following the 15th of the month. Investment brokerage company presented only prepare the report provided data and checksum. " 1.6. the attachment to make the new version introduced in the annex of the rules of these regulations. 1.7. Express provisions of paragraph 2.6 of the following: ' 2.6. Review the used currency is the euro. The assets, liabilities, and off-balance sheet asset management position balances in foreign currency accounts in the euro after the periods to be used in foreign exchange rate on the last day of the reference month. The balance of the balance sheet position statement presented to whole euros. " 1.8. To replace the text in the annex to the provisions, the word "late" (fold) with the word "Euro". 2. the amendment of The regulations and paragraph 1.7 1.8 shall enter into force on the date of the adoption of the euro. Financial and capital market Commission Vice Chairman p. Birdie investment brokerage company name "investment brokerage company monthly reporting rules" ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ___ annex address _____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ submit financial and capital market Commission until next month to the 15th of the month the investment brokerage company overview balances ______. year _____ _____ _____ _____ _____ _____ _____ _____ _____ (the last date of the reference month) 1. Monthly balance report 1.1. Active (in lats) position title position number residuals t.sk. trading portfolio change in the balances (heading indicator compared to the previous month has changed by more than 15%) 1400. the headings "other assets" the explosion residents non residents total residents non residents total EU countries see the t. EMU countries other countries (1 + 2 + 4) EU countries see the t. EMU countries other countries (6 + 7 + 9) (A) (B) cash in 1 2 3 4 5 6 7 8 9 10 11 12 0100 0100 0200 claims against credit institutions to request short-term deposits 0220 0210 long-term deposits reverse repurchase transactions 0230 0240 other claims against credit institutions 0250 claims against credit institutions total 0200                         claims against customers 0310 0300 short-term loans to non-financial companies (corporates) 0312 0311 financial institutions insurance companies and private pension funds 0313 0314 individuals operating private nonprofit institutions, other Short 0315 0316 term loans total long-term loans 0310 0320 financial companies (corporates) 0322 0321 financial institutions insurance companies and private pension funds 0324 0323 individuals individuals operating nonprofit institutions 0325 else 0326 Ilgter sign the loan together 0320 follow-up positions Annex name position number residuals t.sk. trading portfolio change in the balances (heading indicator compared to the previous month has changed by more than 15%) 1400. the headings "other assets" the explosion residents non residents total residents non residents total EU countries see the t. EMU countries other countries (1 + 2 + 4) EU countries see the t. EMU countries other countries (6 + 7 + 9) (A) (B) 1 2 3 4 5 6 7 8 9 10 11 12 0330 reverse repo transactions With non-financial companies (corporates) 0331 0332 With with financial institutions insurance companies and private pension funds To individuals With 0334 0333 individuals operating nonprofit institutions with other institutions 0336 0335 reverse repo together 0330 0340 other claims on non-financial companies to customers (companies) 0341 0342 financial institutions, insurance companies and private pension funds, private individuals operating 0343 0344 to 0345 non-profit institutions other 0346 other claims against clients total 0340 claims against clients total 0300 0400 debt securities and other fixed income securities, short-term debt securities 0410 national authorities Not 0411 0412 financial companies (company) credit 0413 0414 0415 financial institutions insurance companies of other issuers 0417 0416                         Short-term debt securities total continuation of positions Annex 0410 name position number residuals t.sk. trading portfolio change in the balances (heading indicator compared to the previous month has changed by more than 15%) 1400. the headings "other assets" the explosion residents non residents total residents non residents total EU countries see the t. EMU countries other countries (1 + 2 + 4) EU countries see the t. EMU countries other countries (6 + 7 + 9) (A) (B) 1 2 3 4 5 6 7 8 9 10 11 12 0420 long-term debt securities public authorities Not 0421 0422 financial companies (company) credit 0423 0424 0425 financial institutions insurance companies of other issuers 0426 0427 long-term p arād securities together 0420 debt securities and other fixed income securities total 0400 0500 shares and other securities with fixed income non-financial companies 0510 (company) 0510 t. see traded on regulated markets of CIS 0520 including 0511 0520. traded on regulated markets 0521 0530 financial institutions including 0530. traded on regulated markets 0531 0540 insurance companies and private pension funds including 0540. traded on regulated markets of other institutions 0541 0550 t 0550. see. traded on regulated markets 0551 shares and other securities with fixed income total 0500 0600 participation in share capital of the company related to non-financial companies (company) 0610 credit institutions financial institutions 0620 0630 insurance companies and private pension funds in other related societies 0640 0650                         Participation in the share capital of the associated undertaking together 0600 follow-up positions Annex name position number residuals t.sk. trading portfolio change in the balances (heading indicator compared to the previous month has changed by more than 15%) 1400. the headings "other assets" the explosion residents non residents total residents non residents total EU countries see the t. EMU countries other countries (1 + 2 + 4) EU countries see the t. EMU countries other countries (6 + 7 + 9) (A) (B) 1 2 3 4 5 6 7 8 9 10 11 12 0700 investments in share capital of the company by non-financial companies (company) 0710 credit institutions financial institutions 0720 0730 and insurance companies private pension funds in other related societies 0740 0750 investments in share capital of the company total 0700 0800 Embed game fund investment certificates and those assimilated 0800 0900 securities derivative financial instruments non-financial companies (company) credit institutions 0910 0920 0930 financial institutions insurance companies and private pension funds individuals 0950 0940 the other institutions 0960 derivative financial instruments total 0900                         1000 1000 intangible assets including advances 1010 1100 Land, fixed assets buildings and structures advances 1110 1120 1130 fixed assets other fixed assets total 1100 1200 own shares including 1200. traded on regulated markets 1210 1300 deferred expenses and accrued income deferred expenses accrued income 1310 1320 prepaid expenses and accrued income total 1300 continued Heading of annex name position number residuals t.sk. trading portfolio change in the balances (heading indicator compared to the previous month has changed by more than 15%) 1400. the headings "other assets" the explosion residents non residents total residents non residents total EU countries see the t. EMU countries other countries (1 + 2 + 4) EU countries see the t. EMU countries other countries (6 + 7 + 9) (A) (B) 1 2 3 4 5 6 7 8 9 10 11 12 1400 other assets non-financial companies (company) credit institutions 1410 1420 1430 financial institutions insurance companies and private pension funds are 1450 1440 individuals individuals non-profit institutions serving other 1460 1470 1400 2000 total other assets total assets (0100 + 0200 + 0300 + 0400 + 0500 + 0600 + 0700 + 0800 + 0900 + 1000 + 1100 1200 1300 1400 + + + +) 2000 follow-up to Annex 1.2. Passive position title position number residuals t.sk. trading portfolio change in the balances (heading indicator compared to the previous month has changed by more than 15%) 3700. the headings "other liabilities" the explosion residents non residents total residents non residents total EU countries see the t. EMU countries other countries (1 + 2 + 4) EU countries see the t. EMU countries other countries (6 + 7 + 9) (A) (B) 1 2 3 4 5 6 7 8 9 10 11 12 3100 liabilities to credit institutions, short-term loans long-term loans 3120 3110 repo 3130 3140 other liabilities liabilities to credit institutions total liabilities towards clients 3100 3200 3210 short-term loans to non-financial companies (company) 3211                         Financial institutions 3212 insurance companies and private pension funds 3213 3214 individuals individuals serving non-profit institutions other institutions 3215 3216 short-term loans total long-term borrowings not 3210 3220 financial company (the company) financial institutions 3221 3222                         Insurance companies and private pension funds 3223 3224 individuals individuals serving non-profit institutions other institutions 3226 3225 long-term loan together with 3220 3230 repo financial companies (corporates) 3231 3232 to financial institutions By insurance companies and private pension funds 3233                         With individuals With individuals operating 3234-3235 non-profit institutions with other institutions 3236 repo 3230 3240 other liabilities total liabilities towards clients 3240 together 3200 follow-up positions Annex name position number residuals t.sk. trading portfolio change in the balances (heading indicator compared to the previous month has changed by more than 15%) 3700. the headings "other liabilities" the explosion residents non residents total residents non residents total EU countries see the t. EMU countries other countries (1 + 2 + 4) EU countries see the t. EMU countries other countries (6 + 7 + 9) (A) (B) 1 2 3 4 5 6 7 8 9 10 11 12 3300 debt securities issued                           3310 3310 3320 of short-term debt securities, long-term debt securities debt securities issued 3320 total 3300 3400 derivative financial instruments non-financial companies (company) credit institutions 3410 3420 3430 financial institutions insurance companies and private pension funds 3440 individuals 3450 other institutions 3460                         Derivative financial instruments total 3400 3500 deferred income and accrued expenses accruals and liabilities 3500 3600 debts special provisions do not secure debts 3610 General provisions for unsecured debts 3620 3630 the other accruals tax accruals accruals and liabilities 3640 debts together 36 00 other liabilities Not 3700 financial companies (company) 3710 3720 financial institutions insurance companies and private pension funds by private individuals operating 3730-3740 non-profit institutions other institutions 3760 3750 other liabilities subordinated liabilities Annex 3800 3700 3800 continues the name of the item to the agenda Items of the balance of the code t.sk. trading portfolio change in the balances (heading indicator compared to the previous month has changed by more than 15%) 3700. the headings "other liabilities" the explosion residents non residents total residents non residents total EU countries see the t. EMU countries other countries (1 + 2 + 4) EU countries see the t. EMU countries other countries (6 + 7 + 9) (A) (B) 1 2 3 4 5 6 7 8 9 10 11 12 3900 capital and reserves share capital share premium 3910 3920 3930 reserves revaluation reserve 3940 previous years retained earnings or loss 3950 profit or loss for the financial year 3960 Kapit the ALA and 3900 4000 reserves total liabilities (3100 + 3200 + 3300 + 3400 + 3500 + 3600 + 3700 + 3800 + 3900) 4000 1.3. off balance positions position title position number will change in the balances (heading indicator compared to the previous month has changed by more than 15%) Residents non residents total (1 + 2) (A) (B) 1 2 3 4 5100 contingent liabilities guarantees 5101 other contingent liabilities contingent liabilities total 5102 5100 5200 5200 obligation towards customers continued to annex the heading "profit or loss for the financial year" explosion position title position number balance residents non residents total (1 + 2 + 4) EU countries see the t. EMU countries other countries 1 2 3 4 5 (A) (B) interest income interest income from claims against credit institutions 8110 interest income from claims against customers 8120 interest income from short-term debt securities and other fixed income securities interest income from 8130 long-term debt securities and other fixed-income securities other interest revenue 8140 8150 interest income total (8110 + ... + 8150) 8100 interest expense interest expense on liabilities to credit institutions interest expense on 8210 liabilities to customers 8220 interest expense on short-term debt securities issued for interest expense on 8230 issued long-term debt securities interest expense on 8240 child commitments other interest expenses 8250 8260 interest expense total (8210 + ... + 5084) 8200 net interest income (8100-8200) A dividend income from shares in related companies in the share capital of the associated undertaking 8310-8320 of the rest of the share capital, shares and other securities with fixed income dividend income 8330 total (8310 + ... + 8330) 8300 commissions and other similar income 8400 commissions and other similar expenses 8500 financial instruments trading business profit or loss revaluation of investments 8600 foreign currency revaluation a revaluation of debt securities 8710 result 8720 8730 stock revaluation of the Fund investment certificates is a result of a revaluation of other financial instruments 8740 revaluation result 8750 investment revaluation total (8710 + ... + 8750) 8700 Financial operations profit or of za egg stage (A + 8300 + 8400-8500 + 8600 + 8700) B other ordinary income position title position 8800 code balances residents non residents total (1 + 2 + 4) EU countries see the t. EMU countries other countries (A) (B) 1 2 3 4 5 administrative expenditure the Council and Executive Board remuneration paid to staff remuneration 8920 8910 State social insurance compulsory contribution taxes others 8930 8940 8950 administrative expenditure total administrative expenditure (8910 + ... + 8950) 8900 amortisation of intangible assets and depreciation of fixed assets intangible assets amortization of buildings and premises 9010 value depreciation of other fixed assets value 9020 depreciation 9030 amortisation of intangible assets and depreciation of fixed assets total (9010 + ... + 9030) other ordinary expenditure 9000 9100           Expenditure savings uncertain debts and off-balance-sheet commitments, special provisions for unsecured debts 9210 special provisions claims against customers special savings 9220 accrued income provisions for off-balance-sheet Special 9230 liabilities unsecured debt write-off 9240-9250 general loss provisions for unsecured debts 9260 expenditure savings uncertain debts and off-balance-sheet commitments total (9210 + ... + 9260) 9200 savings reduction income special reserve decrease 9310           The overall reduction of stocks Depreciated assets recovery 9320 9330 accrual reduction total income (9310 + ... + 9330) 9300 ordinary operating profit or loss (B + 8800-8900-9000-9100-9200 + 9300) (C) extraordinary income extraordinary expenses 9600 9500 Profit or loss before income tax calculation (C + 9500-9600) (D) income tax the company 9700 review on profit or loss brought forward (D-9700) * E * 5 columns must match the total monthly balance sheet liabilities 3960. positions total in box 5 of the annex continued active management 3.1 3. Kl ient-resident funds investments in financial instruments (in lats) position title position number of residents (position change indicators compared to the previous month has changed by more than 15%) Non-financial companies financial institutions insurance companies and private pension funds serving individual Private non-profit institutions total (1 + … + 6) (A) (B) 1 2 3 4 5 6 7 8 51000 resident investments in financial instruments 51100 claims against credit institutions to request short-term deposits 51120 51110 long-term deposits reverse repurchase transactions 51130 51140 other claims 51150 claims against credit institutions total 51100 51200 debt securities and other fixed income securities, short-term debt securities 51210 national authorities Not 51211 51212 financial companies (company) credit 51213 51214 51215 financial institutions insurance company issuer 51217 51216 other short-term debt securities total long-term 51210 51220 debt securities public authorities Not 51221 51222 financial companies (company) credit 51224 51223 financial institutions insurance companies 51225 51226 General issuer 51227 long-term debt securities total 51220 debt securities and other fixed income securities total 51200 51300 shares and other securities with fixed income non-financial companies (51310 komercsabied rību) 51310                 t. sk. traded on regulated markets of CIS 51320 51311 51320 t. see traded on regulated markets of financial institutions 51321 51330 51330 t. see traded on regulated markets 51331 51340 insurance companies and private pension funds including 51340 traded on regulated markets 51341 51350 other institutions including 51350 traded on regulated markets 51351 shares and other securities with no fixed income participation associated undertaking 51300 51400 fixed capital formation by non-financial companies (company) credit 51420 51410 financial institutions and insurance undertakings 51430 private pension funds in other related societies 51440 51450 participation in share capital of the companies linked together 51400 51500 investments in share capital of non-financial companies in the U.S. zņēmējsabiedrīb (company) credit 51520 51510 financial institutions and insurance undertakings 51530 private pension funds in other related societies 51540 51550 investments in share capital of the company total investment funds investment 51500 51600 certificates and similar securities 51600 51700 derivative financial instruments non-financial companies (company) credit institutions 51720 51710                 Financial institutions 51730 insurance companies and private pension funds 51740 individuals 51750 other institutions 51760 derivative financial instruments total other assets management 51700 51800 51800 together the contribution of residents in the resident financial instruments investment in EU countries 51000 52000 (non-resident) financial instruments claims against credit institutions 52100 requirements to request short-term deposits 52120 52110                 Long-term deposits reverse repurchase transactions 52130 52140 52150 requirements other requirements to credit institutions total 52100 52200 debt securities and other fixed income securities, short-term debt securities, long-term debt securities 52210 52220 debt securities and other fixed income securities 52200 52300 total shares and other securities with fixed income not including 52300 traded on regulated markets 52310 52400 investments in share capital of the company participation associated undertaking 52400 52500 capital investment fund investment 52500 52600 and similar securities 52600 52700 derivative financial instruments in the management of other assets 52700 52800 52800 total investments of funds of residents of EU countries in financial instruments including 52000 53000. investments in EMU countries (non-resident) financial instruments 53100 claims against credit institutions to request short-term deposits 53120 53110 long-term deposits reverse repurchase transactions 53130 53140 53150 requirements other requirements to credit institutions total 53100 53200 debt securities and other fixed income securities, short-term debt securities, long-term debt securities 53210 53220 debt securities I and other fixed income securities total 53200 53300 shares and other securities with fixed income not including 53300 traded on regulated markets 53310 53400 investments in share capital of the company participation associated undertaking 53400 53500 capital investment fund investment 53500 53600 licences and those assimilated to vērtsapīr 53600 53700 derivative financial instruments in the management of other assets 53700 53800 53800 total investment of funds of the resident EMU countries in financial instruments investment in other countries 53000 54000 (non-resident) financial instruments 54100 claims against credit institutions to request 54110                 Short-term deposits 54120 long-term deposits reverse repurchase transactions 54130 54140 other claims 54150 claims against credit institutions total 54100 54200 debt securities and other fixed income securities, short-term debt securities, long-term debt securities 54210 54220 debt securities and other fixed income securities together 54200 54300 equities and other non fixed income including 54300 traded on regulated markets 54310 54400 investments in share capital of the company participation associated undertaking 54400 54500 capital investment fund investment 54500 54600 certificates and similar securities 54600 54700 derivative financial instruments in the management of other assets 54700 54800 54800 total investments of funds of residents of other countries (non-resident) financial instruments together residents means 54000 investments of non-resident financial instruments (52,000 + 54000) 55000 together the contribution a resident to resident and non-resident financial instruments (51000 + 55,000) 56000                
Continuation of the annex 3.2. customer-non-resident investment in financial instruments (in lats) position title position number for non-residents (position change indicators compared to the previous month has changed by more than 15%) EU countries t.sk. EMU countries other countries total (1 + 3) (A) (B) 1 2 3 4 5 61000 resident investments in financial instruments 61100 claims against credit institutions to request short-term deposits 61120 61110 long-term deposits reverse repurchase transactions 61130 61140 61150 claims other claims against credit institutions total 61100 61200 debt securities and other fixed income securities, short-term debt securities 61210 national authorities Not 61211 61212 financial companies (company) credit institutions financial 61213 61214 institutions insurance companies 61216 61215 General issuer 61217 short-term debt securities total long-term debt securities 61210 61220 national authorities Not 61221 61222 financial companies (company) credit 61223 61224 61225 financial institutions insurance companies of other issuers 61227 61226 long-term debt securities total 61220 debt securities and other securities with fixed income 61200 61300 shares and other non fixed income Not 61310 financial companies (company) including 61310 traded on regulated markets of CIS 61320 61311 61320 t. see traded on regulated markets 61321 61330 financial institutions including 61330 traded on regulated markets 61331 61340 insurance companies and pension funds including 61340. traded on regulated markets 61341 61350 other institutions including 61350 traded on regulated markets 61351 shares and other securities with no fixed income participation associated undertaking 61300 61400 fixed capital formation by non-financial companies (company) credit 61420 61410 financial institutions and insurance undertakings 61430 private pension funds in other related societies 61440 61450 Participation in the share capital of the associated undertaking's total investments society 61400 61500 fixed capital formation by non-financial companies (company) credit 61510 61520 61530 financial institutions insurance companies and private pension funds in other related societies 61540 61550 investments in share capital of the company total investment funds investment 61500 61600 certificates and similar securities 61600 61700 derivative financial instruments non-financial companies (company) credit institutions 61710 61720 61730 financial institutions insurance companies and private pension funds 61740 individuals 61750 other institutions 61760 derivative financial instruments total other assets management 61700 61800 61800 total non-resident investment in r ezident financial instruments investment in non-resident 61000 62000 financial instruments together in a non-resident investment in financial instruments by non-residents total non-resident 62000 contribution to resident and non-resident financial instruments (61,000 + 62000) 63000 total customer funds to investments in financial instruments (56000 + 63000) Annex 4.60000 follow-up positions "derivative financial instruments" the explosion (monthly balance sheet and position 3400.0900 explosion) (in lats) derivative financial instruments the name position number of derivative financial instruments the fair value of derivative financial instruments assets liabilities the relative underlying value of interest derivatives and foreign currency Gold derivatives equity derivative instruments, precious metals (except gold) derivatives other derivatives of goods in total (3 + 4 + 6 + 7 + 8) with t.sk. with an original maturity of less than 14 days (A) (B) 1 2 3 4 5 6 7 8 9 the OTC financial derivatives Futures (forward) 0011 0012 swaps options Purchased 0013 0014 options Sold over-the-counter derivative financial instruments total (0011 + ... + 0014) 0010-exchange traded financial derivatives Futures (Futures) long position 0021 Futures (Futures) short position 0022 Purchased options 0023 0024 options Sold                   Exchange-traded derivative financial instruments total (0021 + ... + 0024) 0020 total financial derivatives (0010 + 0020) 0030 t.sk. derivative financial instruments with positive fair value total 0040 X t.sk. derivative financial instruments with negative fair value total continuation of annex X 5 0050. "subordinated liabilities" and "share capital" the explosion (in lats) position name State kods1 in total (2 + 3) = 10% contribution (A) (B) 1 2 3 3800 subordinated liabilities.   X X X X the name of the investor.     X X ...     X X ...     X X subordinated liabilities total X X X 3910 share capital.       Ieguldītāja nosaukums         ...         ...         ...         ...         ...         ...         Share capital total X total X 1 country codes display according to international standard ISO 3166 ' and the name of the national area code: part 1: country codes "9. investment brokerage company's holding customer cash (in lats) position title position number 1 (A) (B) the amount of money the customer brokerage firms holding current accounts in credit institutions money of client financial instruments to manage in accordance with individual customer mandates 0091 funds remaining for mediation together 0092 investment brokerage firm 0090 driver//(signature) ( first name, last name) performer (name; phone number, email address)